NYSE members are reminded to confirm and/or update, where applicable, their list of Futures Commission Merchants (“FCMs”).  This is a semi-annual obligation, due on by the last trading days of June and December.  All such individuals engaging in program trading of index futures now also must be included in this listing.  [N.B.  This is a broader requirement than stated previously.]   This requirement applies even after a member or member organization is no longer obligated to report program trading.

Details are available in Information Memo 11-17, 6/27/11, which supersedes IM 10-2 (1/6/10), and the relevant portions of IM 3-9 (3/17/03).  FINRA, which is collecting the data, must have current and accurate ID information for FCMs engaged in program trading of index futures on behalf of members and member organizations.  If no list changes were made since the last filing, members or member organizationss should confirm this, as well.

FINRA Contacts.   Written notifications and filings, as well as any questions, should be directed to:  Michael Graham, Director - FINRA Market Reg.  (917.281.3074, michael.graham@finra.org); or  Anita Bak, Regulatory Specialist - FINRA Market Reg.  (917.281.3053, anita.bak@finra.org).